Corporate Notes
Tag: mar
Showing 12 out of 59 results
Market abuse – amendments to EU MAR
Amendments to the EU Market Abuse Regulation (EU MAR), made by the EU Listing Act (2024/2809), take effect on 5 June 2026. The amendments relate to when …
Capital markets – FCA review of market soundings on equity offerings
The Financial Conduct Authority (FCA) has published a multi firm review examining the use and effectiveness of market soundings by wholesale banks on …
Listing regime – latest FCA guidance in Primary Market Bulletin 62
The Financial Conduct Authority (FCA) has published Primary Market Bulletin 62 (PMB 62), its newsletter for primary market participants.
Listing regime and market abuse – CEO fined and company censured for breaches of the listing rules
The FCA has published final notices for Carillion and its former CEO for breaches of the Listing Rules and the UK Market Abuse Regulation (MAR). The …
Market abuse – two individuals fined for insider dealing
The FCA has fined two individuals for insider dealing – Mr Hirani, who was fined £56,000, and Mr Kerai, who was fined £52,731. Article 14 of the UK …
Listing regime – FCA’s new Enforcement Watch newsletter
The FCA has published the first edition of a new newsletter, Enforcement Watch 1, which covers insights and themes from its enforcement work. The …
Market abuse – consultant fined for insider dealing
The FCA has fined Russel Gerrity, an oil rig consultant, £309,843 for insider dealing in breach of Article 14 of the UK Market Abuse Regulation (UK MAR). …
Listing regime – two executive directors drop appeal against FCA fines for breaches of Listing Rules and MAR
The FCA has published final notices in respect of its enforcement action against two former finance directors of Carillion plc for breaches of the …
Listing Regime – latest FCA guidance in Primary Market Bulletin 59
The FCA has also published Primary Market Bulletin 59 (PMB 59) covering the findings of its delayed disclosure of inside information review, cryptoasset …
Insider dealing – FCA fines ex-employee of AIM listed company
The FCA has issued a final notice to Neil Dwane, formerly a capital markets adviser in the investor relations team at ITM Power Plc, an AIM listed …
Public M&A – our latest consolidated update
We have published our latest consolidated public M&A update, which gives a brief overview of developments in recent months in UK public M&A.
Market abuse – FCA publishes Market Watch 83 on market soundings
The FCA has published Market Watch 83 which highlights compliance risks and best practices for corporate finance firms advising small and mid-cap …
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